Alex Aksenoff Allegedly Altered Firm Records

Alex Aksenoff (CRD #: 6172520), a previously registered broker, has been fired from his position at Paulson Investment Company, according to his BrokerCheck record, accessed on October 20, 2021. Details surrounding his termination have been provided below.

On October 1, 2021, Alex Aksenoff was fired from his position at Paulson Investment Company following allegations that he made impermissible alternations to firm records.

FINRA Rule 4511: Preservation of Books and Records

FINRA requires firms to maintain accurate records. FINRA Rule 4511 states that firms “shall make and preserve books and records as required under the FINRA Rules, the Exchange Act and the applicable Exchange Act rules.” The rule applies to customer account information, communications between brokers and investors, as well as records of written customer complaints.

The disclosure does not state what type of alteration Alex Aksenoff made. Brokers have made changes to firm documents in order to conceal a mistake or to change the amount of their commission.

FINRA Rule 2010: High Standards of Commercial Honor

Breaking FINRA Rule 4511 would also constitute a violation of FINRA Rule 2010, which states that brokers must “observe high standards of commercial honor and just and equitable principles of trade.”

Alex Aksenoff Background Information

Alex Aksenoff has passed the following exams:

• Series 63 Uniform Securities Agent State Law Examination
• Securities Industry Essentials Examination
• Series 7 General Securities Representative Examination

Alex Aksenoff has worked with the following firms:

• Paulson Investment Company (CRD #: 56New70)
• National Securities Corporation (CRD #: 7569)
• Laidlaw & Company (UK) (CRD #: 119037)
• Spartan Capital Securities (CRD #: 5670)
• Maxim Group (CRD #: 120708)
• Newbridge Securities Corporation (CRD #: 104065)

Kurta Law Can Help 

If you lost money while working with Alex Aksenoff, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Potentially defrauded investors should contact a securities attorney at Kurta Law for a case evaluation.